Sara Andres serves as Chief Compliance Officer of Capital One ShareBuilder and ShareBuilder Advisors LLC. Sara joined the firm in August of 2013 and brings over 15 years of experience in the financial services industry having previously served as CCO at TD Ameritrade and most recently serving on the senior leadership team at Ameritas Investment Corp.
As CCO, Sara oversees the compliance functions of ShareBuilder as well as acts as the primary advisor regarding the firm's overall compliance scheme and the particularized rules, policies and procedures the firm uses to oversee its business activities. Sara has been active in the industry serving on various Securities Industry and Financial Markets Association (SIFMA) and Financial Industry Regulatory Authority, Inc. (FINRA) committees. Sara has served on the advisory boards of both the University of Nebraska College of Business and MBA program. She also served as a board member for the Omaha Area Youth Orchestra.
Sara completed the FINRA Institute at Wharton and as such is a designated Certified Regulatory and Compliance Professional. She holds multiple securities licenses and is a graduate of the University of Nebraska–Lincoln.
Erik Erichsen is the Head of Brokerage IT for Capital One ShareBuilder. He is responsible for the development and implementation of brokerage platforms and applications. He oversees Development, Application Architecture, Quality Assurance, and Program and Project Management, and coordinates Infrastructure and Operations.
Erik began working with ShareBuilder in late 1998 as a Developer during the creation of the ShareBuilder platform. During his tenure he has led a variety of technology teams and created the Business System Analysis, Application Architecture, and DevServices (DevOps) teams. Prior to his time at ShareBuilder, Erik created training software for a Department of Energy contractor used by over 14,000 employees/year.
Erik received a B.S. degree from Western Washington University and a M.S. degree from Illinois State University. He also holds a Series 99 FINRA license.
Matt serves as Controller of Capital One ShareBuilder and its parent ShareBuilder Corporation. He is responsible for managing the company's accounting and financial reporting. Matt has more than 19 years of experience in accounting and finance.
Before joining the company in 2009, Matt held various accounting and finance positions. Most recently he was CFO of Cyrk, a promotional products company, and prior to that Treasurer at Cascade Natural Gas, a utility company. Matt spent the first five years of his career working at Price Waterhouse.
Matt holds a BA in Economics from Brigham Young University and an MBA from Texas A & M University. He is also a CPA.
Broker Dealer Operations &
As Vice President of Broker Dealer Operations, Bob oversees all aspects of ShareBuilder’s brokerage operations including: Trading, Corporate Actions, Funding, Reconciliation and Financial Reporting to FINRA. Bob has 13 years of experience in the financial services industry. Since joining ShareBuilder in early 2000, Bob has played a pivotal role in building a robust operating model that supports ShareBuilder products and customers in the digital marketplace. Bob also oversees the ShareBuilder Customer Service Department.
Prior to his career at ShareBuilder, Bob worked as a credit manager for Norwest Financial, which was acquired by Wells Fargo Financial in 1998. Bob is a graduate of the University of Montana where he received a B.A. in Business Administration (emphasis in Finance) and Economics. He holds FINRA licenses series 4, 7, 24, 27, 55, 63, 65 as well as the Chartered Financial Analyst (CFA) designation.
Marketing & Analytics
Garrett Silver, CFA, is Vice President of Marketing & Analytics and Product Management for Capital One ShareBuilder. He is responsible for the ShareBuilder business strategy and oversees Marketing, Business and Data Analytics, Customer Research, ShareBuilder Brand Strategy, and Product Development.
Garrett worked with ShareBuilder in a consulting role in 1999 and joined the company in 2004 as an IT and Data professional, subsequently contributing to ShareBuilder's strategy as the Divisional CIO. His early career included product design, database design, application architecture, and software development in the Apparel and Debt Collection industries.
Garrett received his B.A. from Western Washington University and holds Series 7 and 24 FINRA licenses. He achieved the Chartered Financial Analyst (CFA) designation in 2010.
Caroline Peani joined the Capital One ShareBuilder team as Head of Human Resources in November 2012.
With more than 14 years of experience at Capital One, Caroline brings a breadth of experience to her role. She joined Capital One in 1998 as a statistical analyst in the credit card division, and has since held a variety of leadership positions in the credit and retail banking businesses in the U.S. and abroad, expanding her focus well beyond analytics. She has always had a passion for human resources, delivering successful business results by developing high-performing associates and teams.
Caroline holds a Master of Science and Bachelor of Science from Carnegie Mellon University and is an executive coach.